IIROC publishes three brochures available in English and French: Opening Your Retail Account, An Investor’s Guide to Making a Complaint, and Why IIROC Matters to You, the Investor. Orders for our brochures can be placed with our printers. Information about each brochure, instructions on how to order, and English and French PDFs of each brochure are listed below:
Opening Your Retail Account
This brochure provides investors with detailed information on the required documentation and personal information they are required to provide firms during the account application process.
An Investor’s Guide to Making a Complaint
This brochure provides investors with information on how to make a complaint to IIROC and an IIROC-regulated firm, and provides options for seeking compensation. There is information on the dispute resolution services available to clients, including the IIROC’s arbitration program and the Ombudsman for Banking Services and Investments.
Under By-law 37, this brochure must be provided by Member firms to all new clients and to clients who have submitted a written complaint.
Why IIROC Matters to You, the Investor
This brochure has been developed for use by IIROC regulated firms and registrants to inform investors about IIROC’s regulatory mandate and responsibilities and specifically its role in investor protection.
This brochure contains useful information about registrants’ registration, proficiency and continuing education requirements, as well as describing IIROC’s business conduct and financial adequacy requirements. It also provides information on the Canadian Investor Protection Fund (CIPF).
To order CIPF Brochures, please use the order form
on the CIPF website
Canada's securities regulators have mandated that the Strip Bond Information Statement must be provided to all clients before they execute a strip bond trade.
To order copies of the Statement, go to www.ordernet.ca
. Click here
for step-by-step instructions on using OrderNet.
PDF versions of the brochure (English and French) are available at no cost. Please email your request to [email protected]
For more information on the Strip Bond Information Statement, please see Bulletin 3179